iiooa CASE: 04-06447 Michele S. Matto and Michele S. Matto IRA (Claimants) v. Royal Alliance Associates, Inc. and Joseph Chornyak, Sr. (Respondents) ATTORNEYS: Claimants Michele S. Matto and Michele S. Matto IRA (collectively "Claimants' 1 ) appeared pro se, Port Chariotte, FL. For Respondents Royal Alliance Associates, Inc. and Joseph Chomyak, Sr r (collectively "Respondents'*) appeared Gregory M. Curtey, Esq., in-house counsel, Royal A

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marilyn Banks and 04-06440 Kansas City, Missouri Name of Respondents Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Marilyn Banks ("Claimant") was represented by John J. Miller, Esq., Law Office of John J. Miller, P.C., Kansas City, Missouri. Morgan Stanley DW Inc. ("Respondent") was represented by Jos

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charn Chuan Lee, Claimant v. Charles Schwab & Co., Inc., Lawrence Suemitsu Furukawa, and Carol Mitsuko Furukawa, Respondents Case Number: 04-06431 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Associated Person v. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES For Claimant: Ronald G.S. Au, Esq. Ronald G.S. Au & Associates Honolulu, Hawaii For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Elaine A. Balint and Alexander M. Balint, and Gary Farmer and Jo Farmer Names of the Respondents SAL Financial Services, Inc., Sterne, Agee and Leach, Inc., Aliant Financial Services Corporation Case Number: 04-06430 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elaine A. Balint

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Gregoire and Dorothy Gregoire, Kenneth Gregoire, IRA and Dorothy Gregoire, IRA (Claimants) vs. Morgan Stanley DW Inc., and James A. McMahon III (Respondents) Case Number: 04-06425 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Kenneth Gregoire and Dorothy Gregoire ("K & D Gregoire"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Lenes (Claimant) v. Morgan Stanley DW, Inc. (Respondent) v. Jonathan Lenes (Third-Party Respondent) Case Number: 04-06423 Hearing Site: Boston, Massachusets Nature of the Dispute: Customer vs. Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Elizabeth Lenes hereinafter referred to as "Claimant": Richard C. Bardi r Esq., Law Office of Richard Bard

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06422 Schechiier Family Trust, Selroa Scheduler, David Schechner, and Arthur Schechner, Trustees, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Schechner Family Trust, Selma Schechner, David Schechner, and Arthur Schechner, Trustees ("Claimant") appeared Joel S. Finkelstein, Esq., of the firm Finkelstein &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rahul Nayar and Chetan Nayar, (Claimants) vs. Montrose Capital Management, Inc., CISC Oppenheimer & Co., Vivek Verma, and John Ferraro, (Respondents) Case Number: 01-00291 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Rahul Nayar ("R. Nayar") and Chetan Nayar ("C. Nayar"), hereinafter collectively referred to as "Claimants": Leon I. Kurland, Esq., a sole

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06403 Brookstreet Securities Corporation (Claimant) v. Daniel Barker (Respondent) ATTORNEYS: For Claimant Brookstreet Securities Corporation ("Claimant") appeared H. Thomas Fehn, Esq., of the firm Fields, Fehn & Sherwin, Los Angeles, CA. Respondent Daniel Barker ("Respondent") appeared pro se, Beverly Hills, C A. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 3, 20

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06393 Bernard Vollkommer, Claimant v. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc., Respondent ATTORNEYS: For Claimant Bernard Vollkommer ("Claimant") appeared Benjamin Lapin, Stock Market Recovery Consultants Inc., Brooklyn, NY. For Respondent Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. ("Respondent") appeared Carole A. McDonald, Esq., in-house couns